| Reference No. |
Reference Name |
Link |
Description |
| Ref-01020 |
Form ADV, Uniform Application for Investment Adviser Registration (9-2011) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-01020 |
Form ADV, Uniform Application for Investment Adviser Registration (9-2011)
|
| Ref-01021 |
Form BD, Uniform Application for Broker-Dealer Registration (1-2008) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-01021 |
Form BD, Uniform Application for Broker-Dealer Registration (1-2008)
|
| Ref-03347 |
Division of Securities Disciplinary Guidelines for Dealers, Investment Advisers and Associated Persons Incorporated by Reference in Rule 69W-1000.001, F.A.C., |
http://www.flrules.org/Gateway/reference.asp?No=Ref-03347 |
Division of Securities
Disciplinary Guidelines for Dealers, Investment Advisers and Assoc...
|
| Ref-04516 |
FINRA Rule 2210 (7-11-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04516 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04517 |
SEC Rule 501(a) of Regulation D (17 C.F.R. § 230.501(a)) (9-23-13) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04517 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04518 |
SEC Rule 15c3-1 (17 C.F.R. § 240.15c3-1) (7-7-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04518 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04519 |
SEC Rule 206(4)-3 (17 C.F.R. § 275.206(4)-3) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04519 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04520 |
NASD Rule 3010 (2-4-13) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04520 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04521 |
SEC Rule 144A (17 C.F.R. § 230.144A(a)) (9-23-13) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04521 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04522 |
Regulation S-X (17 C.F.R. Part 210) (4-1-13 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04522 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04523 |
SEC Rules 17a-5 (17 C.F.R. § 240.17a-5) (6-1-14) and 17a-10 (17 C.F.R. § 240.17a-10) (12-9-81) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04523 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04524 |
Section 15A of the Securities Exchange Act of 1934 (15 U.S.C. §78o-3) (10-1-10) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04524 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04525 |
Regulation A of the Securities Act of 1933 (17 C.F.R. §§230.251 through 230.263) (4-1-13 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04525 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04526 |
SEC Rule 144 (17 C.F.R. § 230.144) (4-1-13 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04526 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04527 |
Section 642(c)(5) of the Internal Revenue Code of 1954 (26 U.S.C. §642(c)(5)) (1-23-02) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04527 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04528 |
Regulation S (17 C.F.R. §§ 230.901 through 230.905) (4-1-13 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04528 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04529 |
Section 4(a)(2) of the Securities Act of 1933 (15 U.S.C. § 77d(a)(2)) (4-5-12) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04529 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04530 |
SEC Rule 701 (17 C.F.R. 230.701) (4-1-13 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04530 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04531 |
Section 3(a) of the Securities Act of 1933 (15 U.S.C. §77c(a)) (7-9-12) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04531 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04532 |
Securities Act of 1933 Section 5 (15 U.S.C. §77e) (4-5-12); Section 6 (15 U.S.C. §77f) (4-5-12); Section 7 (15 U.S.C. §77g) (4-5-12); and Section 8 (15 U.S.C. §77h) (8-22-40) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04532 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04533 |
SEC Rule 17f-2 (17 C.F.R. § 240.17f-2) (4-1-13 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04533 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04534 |
SEC Rule 10b-10 (17 CFR § 240.10b-10) (7-7-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04534 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04535 |
SEC Rule 17a-3 (17 CFR § 240.17a-3) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04535 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04536 |
Securities Exchange Act of 1934 Section 9 (15 U.S.C. §78i) (2012); Section 10 (15 U.S.C. §78j) (7-16-11); Section 11A (15 U.S.C. §78k-1) (4-5-12); Section 15(c) and 15(g) (15 U.S.C. §78o(c) and 78o(g)) (2012) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04536 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04537 |
SEC Rule 9b-1 (17 CFR § 240.9b-1) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04537 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04538 |
SEC Rules 10b-1, 10b-3, 10b-5, 10b5-1, 10b5-2, 10b-9, 10b-10, 10b-16, 10b-17, 10b-18, and 10b-21 (17 CFR §§ 240.10b-1, 240.10b-3, 240.10b-5, 240.10b5-1, 240.10b5-2, 240.10b-9, 240.10b-10, 240.10b-16, 240.10b-17, 240.10b-18, and 240.10b-21) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04538 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04539 |
SEC Rules 15c1-1 through 15c1-3 and 15c1-5 through 15c1-9 (17 CFR §§ 240.15c1-1 through 240.15c1-3 and 240.15c1-5 through 240.15c1-9) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04539 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04540 |
SEC Rules 15c2-1, 15c2-4, 15c2-5, 15c2-7, 15c2-8, 15c2-11, and 15c2-12 (17 CFR §§ 240.15c2-1, 240.15c2-4, 240.15c2-5, 240.15c2-7, 240.15c2-8, 240.15c2-11, and 240.15c2-12) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04540 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04541 |
SEC Rules 15g-1 through 15g-6, 15g-8, and 15g-9 (17 CFR §§ 240.15g-1 through 240.15g-6, 240.15g-8 and 240.15g-9) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04541 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04542 |
Regulation M (17 CFR §242.100 through 242.105) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04542 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04543 |
SEC Rule 601 (17 C.F.R. § 242.601) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04543 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04544 |
Regulation T, Credit by Brokers and Dealers, (12 C.F.R. §§ 220.1 through 220.12, 220.101, 220.103, 220.105, 220.108, 220.110, 220.111, 220.113, 220.117, 220.118, 220.119, 220.121, 220.122, 220.123, 220.124, 220.127, 220.128, 220.131, 220.132); and 12 C.F.R. § 221.125 of Regulation U (1-1-13 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04544 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04545 |
SEC Rule 8c-1, (17 C.F.R. § 240.8c-1) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04545 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04546 |
FINRA Rule 2000 Series (2010 through 2370) (existing as of 7-18-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04546 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04547 |
FINRA Rule 3000 Series (only 3130, 3160, and 3220 through 3310) (existing as of 7-18-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04547 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04548 |
FINRA Rule 4000 Series (4110 through 4570) (existing as of 7-18-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04548 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04549 |
FINRA Rule 5000 Series (5110 through 5350) (existing as of 7-18-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04549 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04550 |
FINRA Rule 6000 Series (6110 through 6770) (existing as of 7-18-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04550 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04551 |
FINRA Rule 7000 Series (7110 through 7740) (existing as of 7-18-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04551 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04552 |
NASD Conduct Rule 2000 Series (IM-2210-2 through 2830) (existing as of 7-18-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04552 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04553 |
NASD Conduct Rule 3000 Series (3010 through 3170) (existing as of 7-18-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04553 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04554 |
FINRA Uniform Practice Code Rule 11000 Series (11100 through 11900) (existing as of 7-18-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04554 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04555 |
NYSE Rules 405 (7-14-11), 412 (9-15-08), and 435 (5-29-09) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04555 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04556 |
Section 2, 3, 4, 5, and 6 of the Securities Act of 1933, (15 U.S.C.A. §§ 77b, 77c, 77d, 77e, and 77f) (4-5-12) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04556 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04557 |
SEC Rules 134, 134a, 135a, 144, 156, 419, 481, and 482, (17 C.F.R. §§ 230.134, 230.134a, 230.135a, 230.144, 230.156, 230.419, 230.481 and 230.482) (4-1-13 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04557 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04558 |
Section 15(b)(4)(E) of the Securities Exchange Act of 1934 (15 U.S.C. § 78o(b)(4)(E)) (2012) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04558 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04559 |
Regulation SHO, Regulation of Short Sales, (17 C.F.R. §§ 242.200-242.203) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04559 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04560 |
Section 15B of the Securities Exchange Act of 1934 (15 U.S.C. § 78o-4) (10-1-10) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04560 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04561 |
Sections 13 and 15D of the Securities Exchange Act of 1934 (15 U.S.C. §§ 78m (8-10-12) and 78o-6 (4-5-12)) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04561 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04562 |
Sections 204, 204A, 205, 206, 207, 208 of the Investment Advisers Act of 1940 (15 U.S.C.A. §§ 80b-4, 80b-4a, 80b-5, 80b-6, 80b-7, 80b-8) (2012) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04562 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04563 |
SEC Rule 204-3 (17 C.F.R. §275.204-3); Rule 205-1 (17 C.F.R. §275.205-1); Rule 205-2 (17 C.F.R. §275.205-2); Rule 205-3 (17 C.F.R. §275.205-3); Rule 206(3)-1 (17 C.F.R. §275.206(3)-1); Rule 206(3)-2 (17 C.F.R. §275.206(3)-2); Rule 206(4)-1 (17 C.F.R. §275.206(4)-1; Rule 206(4)-3 (17 C.F.R. §275.206(4)-3, (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04563 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04564 |
The Investment Advisers Act of 1940 (15 U.S.C. § 80b-1 through 80b-21) (2012) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04564 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04565 |
National Securities Markets Improvement Act of 1996 (Pub. L. 104-290) (10-11-96) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04565 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04566 |
Section 4f(a) of the Commodity Exchange Act (7 U.S.C. § 6f) (2012) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04566 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04567 |
Investment Company Act of 1940 (15 U.S.C. § 80a-1 through 80a-64) (2012) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04567 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04568 |
SEC Rules 17a-3 and 17a-4 (17 C.F.R. §§ 240.17a-3 and 240.17a-4) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04568 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04569 |
SEC Rule 204-2 (17 C.F.R. §275.204-2) (4-1-13 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04569 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04570 |
SEC Rule 204-3 (17 C.F.R. §275.204-3) (4-1-13 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04570 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04571 |
SEC Rule 15c3-1 and appendices (17 C.F.R. §240.15c3-1 (7-7-14); 17 C.F.R. §240.15c3-1a (7-7-14); 17 C.F.R. §240.15c3-1b (8-9-84); 17 C.F.R. §240.15c3-1c (12-2-92); 17 C.F.R. §240.15c3-1d (6-5-08); 17 C.F.R. §240.15c3-1e (7-7-14); 17 C.F.R. §240.15c3-1f (7-7-14); 17 C.F.R. §240.15c3-1g (7-7-14)) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04571 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04572 |
17 C.F.R. § 240.17a-11 (6-1-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04572 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04573 |
SEC Rule 15c3-3 and Exhibit A (17 C.F.R. § 240.15c3-3 (4-1-14 edition) and 240.15c3-3a (7-7-14)) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04573 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04574 |
FINRA Rule 1250 (10-17-11) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04574 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04575 |
NYSE Rule 345A (7-29-03) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04575 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04576 |
NYSE MKT LLC Rule 341A (11-10-04) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04576 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04577 |
Section 422 of the Internal Revenue Code (26 U.S.C. §422) (11-5-90) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04577 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04578 |
Employee Retirement Income Security Act of 1974 (Pub.L. 93-406) (4-7-14) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04578 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04579 |
Section 501(c)(3) of the Internal Revenue Code (26 U.S.C. §501(c)(3)) (3-30-10) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04579 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04580 |
SEC Rule 15a-6(b)(4)(i) (17 C.F.R. §240.15a-6) (4-1-14 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04580 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04581 |
Sections 856, 857 and 858 of the Internal Revenue Code of 1954 (26 U.S.C. §§ 856 (7-30-08), 857 (7-30-08), 858 (11-10-88)) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04581 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04582 |
Securities Exchange Act of 1934 (15 U.S.C. §§ 78a through 78pp) (2012) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04582 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04583 |
SEC Rule 415 (17 C.F.R. § 230.415) (4-1-13 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04583 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-04584 |
Section 10(a) of the Securities Act of 1933 (15 U.S.C. § 77j(a)) (8-10-54) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-04584 |
Incorporated by reference in Rule 69W-200.002, F.A.C.
|
| Ref-05356 |
SEC Rules 204-1, 204-3, 205-1, 205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1, 206(4)-3 (4-1-14 ed.) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-05356 |
SEC Rule 204-1 (17 C.F.R. § 275.204-1); 204-3 (17 C.F.R. § 275.204-3); Rule 205-1 (17 C.F....
|
| Ref-05357 |
Form ADV-E (01-13) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-05357 |
Form ADV-E (01-13). Incorporated by reference in Rule 69W-600.0132, F.A.C.
|
| Ref-05358 |
Form X-17A-5 Part IIA (FOCUS Report) (02-03) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-05358 |
Form X-17A-5 Part IIA (FOCUS Report) (02-03). Incorporated by reference in Rule 69W-600.01...
|
| Ref-05361 |
Office of Financial Regulation Disciplinary Guidelines for Chapters 517, Florida Statutes, and 69W, Florida Administrative Code (5-15) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-05361 |
Office of Financial Regulation Disciplinary Guidelines for Chapters 517, Florida Statutes,...
|
| Ref-06073 |
Form FL-CI |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06073 |
|
| Ref-06074 |
Form FL-INT |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06074 |
|
| Ref-06075 |
Supplement CI |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06075 |
|
| Ref-06076 |
Form ADV Complete |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06076 |
|
| Ref-06077 |
Form ADV-W |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06077 |
|
| Ref-06078 |
Form BD |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06078 |
|
| Ref-06079 |
Form BDW |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06079 |
|
| Ref-06080 |
Form BR |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06080 |
|
| Ref-06081 |
Form OFR-DA-5-91 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06081 |
|
| Ref-06082 |
Form OFR-S-1-91 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06082 |
|
| Ref-06083 |
Form OFR-S-5-91 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06083 |
|
| Ref-06084 |
Form OFR S-6-91 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06084 |
|
| Ref-06085 |
Form OFR-S-7-91 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06085 |
|
| Ref-06086 |
Form OFR-S-12-97 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06086 |
|
| Ref-06087 |
Form U-2 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06087 |
|
| Ref-06088 |
Form U-2A |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06088 |
|
| Ref-06089 |
Form U4 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06089 |
|
| Ref-06090 |
Form U5 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06090 |
|
| Ref-06091 |
OFR Form CAN |
http://www.flrules.org/Gateway/reference.asp?No=Ref-06091 |
|
| Ref-07396 |
Penalty Matrix |
http://www.flrules.org/Gateway/reference.asp?No=Ref-07396 |
Penalty Matrix incorporated by reference under Rule 69W-1000.001, F.A.C.
|
| Ref-09913 |
Form OFR-MIL-001 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-09913 |
Active Military Member/Veteran/Spouse Fee Waiver & Military Service Verification Form
|
| Ref-11272 |
CUBA Form, Disclosure of Business Activities in Cuba Form, Effective 11/22/10 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11272 |
CUBA Form, Disclosure of Business Activities in Cuba Form, Effective 11/22/10
|
| Ref-11274 |
Form U-1, Uniform Application to Register Securities (9/16) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11274 |
Form U-1, Uniform Application to Register Securities (9/16)
|
| Ref-11275 |
Form U-2 Uniform Consent to Service of Process (6-2016) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11275 |
Form U-2 Uniform Consent to Service of Process (6-2016)
|
| Ref-11277 |
Form U-7, Small Corporate Offering Registration (9-1999) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11277 |
Form U-7, Small Corporate Offering Registration (9-1999)
|
| Ref-11278 |
OFR-S-13-97 Florida Guide to Small Business Investments Effective 11-22-10 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11278 |
OFR-S-13-97 Florida Guide to Small Business Investments Effective 11-22-10
|
| Ref-11279 |
SEC Form X-17A-5 FOCUS Report Part IIA (11-05) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11279 |
SEC Form X-17A-5 FOCUS Report Part IIA (11-05)
|
| Ref-11280 |
Form ADV, Uniform Application for Investment Adviser Registration and Report Form by Exempt Reporting Advisers (07-17). |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11280 |
Form ADV, Uniform Application for Investment Adviser Registration and Report Form by Exemp...
|
| Ref-11281 |
Form ADV-W, Notice of Withdrawal from Registration as an Investment Adviser (07/17) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11281 |
Form ADV-W, Notice of Withdrawal from Registration as an Investment Adviser (07/17)
|
| Ref-11282 |
Sections 2, 3, 4, 5, 6, 7, 8, and 10(a) of the Securities Act of 1933, (15 U.S.C. §§77b, 77c, 77d, 77e, 77f, 77g, 77h, and 77j) (6-4-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11282 |
Sections 2, 3, 4, 5, 6, 7, 8, and 10(a) of the Securities Act of 1933, (15 U.S.C. §§77b, 7...
|
| Ref-11283 |
Securities Exchange Act of 1934 (15 U.S.C. §§78a through 78qq) (4-3-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11283 |
Securities Exchange Act of 1934 (15 U.S.C. §§78a through 78qq) (4-3-19)
|
| Ref-11284 |
Investment Company Act of 1940 (15 U.S.C. §§80a-1 through 80a-64) (4-3-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11284 |
Investment Company Act of 1940 (15 U.S.C. §§80a-1 through 80a-64) (4-3-19)
|
| Ref-11285 |
The Investment Advisers Act of 1940 (15 U.S.C. §§80b-1 through 80b-21) (3-11-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11285 |
The Investment Advisers Act of 1940 (15 U.S.C. §§80b-1 through 80b-21) (3-11-19)
|
| Ref-11286 |
Section 422 of the Internal Revenue Code (26 U.S.C. §422) (4-2-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11286 |
Section 422 of the Internal Revenue Code (26 U.S.C. §422) (4-2-19)
|
| Ref-11287 |
Sections 856, 857 and 858 of the Internal Revenue Code of 1954 (26 U.S.C. §§856 through 858) (3-11-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11287 |
Sections 856, 857 and 858 of the Internal Revenue Code of 1954 (26 U.S.C. §§856 through 85...
|
| Ref-11288 |
Regulation S-X (17 C.F.R. Part 210) (4-1-18 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11288 |
Regulation S-X (17 C.F.R. Part 210) (4-1-18 edition)
|
| Ref-11289 |
Regulation A (17 C.F.R. §§230.251 through 230.263) (4-1-18 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11289 |
Regulation A (17 C.F.R. §§230.251 through 230.263) (4-1-18 edition)
|
| Ref-11290 |
SEC Rule 415 (17 C.F.R. §230.415) (4-1-18 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11290 |
SEC Rule 415 (17 C.F.R. §230.415) (4-1-18 edition)
|
| Ref-11291 |
SEC Rule 501(a) of Regulation D (17 C.F.R. §230.501(a)) (4-1-18 Edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11291 |
SEC Rule 501(a) of Regulation D (17 C.F.R. §230.501(a)) (4-1-18 Edition)
|
| Ref-11292 |
SEC Rules 15c2-1, 15c2-4, 15c2-5, 15c2-7, 15c2-8, 15c2-11, and 15c2-12 (17 C.F.R. §§240.15c2-1, 240.15c2-4, 240.15c2-5, 240.15c2-7, 240.15c2-8, 240.15c2-11, and 240.15c2-12) (4-1-18 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11292 |
SEC Rules 15c2-1, 15c2-4, 15c2-5, 15c2-7, 15c2-8, 15c2-11, and 15c2-12 (17 C.F.R. §§240.15...
|
| Ref-11293 |
SEC Rules 15g-1 through 15g-6, 15g-8, and 15g-9 (17 C.F.R. §§240.15g-1 through 240.15g-6, 240.15g-8 and 240.15g-9) (4-1-18 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11293 |
SEC Rules 15g-1 through 15g-6, 15g-8, and 15g-9 (17 C.F.R. §§240.15g-1 through 240.15g-6, ...
|
| Ref-11294 |
Regulation S-P §248.30 (17 C.F.R. §248.30) (4-1-18 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11294 |
Regulation S-P §248.30 (17 C.F.R. §248.30) (4-1-18 edition)
|
| Ref-11295 |
SEC Rules 204-1, 204-2, 204-3, 205-1, 205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1, 206(4)-3 (17 C.F.R. §275.204-1; 17 C.F.R. §275.204-2; 17 C.F.R. §275.204-3; 17 C.F.R. §275.205-1; 17 C.F.R. §275.205-2; 17 C.F.R. §275.205-3; 17 C.F.R. §275.206(3)-1; 17 C.F.R. §275.206(3)-2; 17 C.F.R. §275.206(4)-1; 17 C.F.R. §275.206(4)-3) (4-1-18 edition) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11295 |
SEC Rules 204-1, 204-2, 204-3, 205-1, 205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1, 206(4)-3...
|
| Ref-11296 |
FINRA Rule 1240 (existing as of 2-22-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11296 |
FINRA Rule 1240 (existing as of 2-22-19)
|
| Ref-11297 |
FINRA Rule 2000 Series (2010 through 2370) (existing as of 3-8-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11297 |
FINRA Rule 2000 Series (2010 through 2370) (existing as of 3-8-19)
|
| Ref-11298 |
FINRA Rule 3000 Series (3110 through 3310) (existing as of 3-8-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11298 |
FINRA Rule 3000 Series (3110 through 3310) (existing as of 3-8-19)
|
| Ref-11299 |
FINRA Rule 4000 Series (4110 through 4590) (existing as of 3-8-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11299 |
FINRA Rule 4000 Series (4110 through 4590) (existing as of 3-8-19)
|
| Ref-11300 |
FINRA Rule 5000 Series (5110 through 5350) (existing as of 3-8-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11300 |
FINRA Rule 5000 Series (5110 through 5350) (existing as of 3-8-19)
|
| Ref-11301 |
FINRA Rule 6000 Series (6110 through 6898) (existing as of 3-8-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11301 |
FINRA Rule 6000 Series (6110 through 6898) (existing as of 3-8-19)
|
| Ref-11302 |
FINRA Rule 7000 Series (7110 through 7730) (existing as of 3-8-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11302 |
FINRA Rule 7000 Series (7110 through 7730) (existing as of 3-8-19)
|
| Ref-11303 |
FINRA Rule 11000 Series (11100 through 11900) (existing as of 3-8-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11303 |
FINRA Rule 11000 Series (11100 through 11900) (existing as of 3-8-19)
|
| Ref-11304 |
NASD Conduct Rules 2340 and 2510 (existing as of 3-8-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11304 |
NASD Conduct Rules 2340 and 2510 (existing as of 3-8-19)
|
| Ref-11305 |
NASD Conduct Rules 3140, 3150, and IM-3150 (existing as of 3-8-19) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11305 |
NASD Conduct Rules 3140, 3150, and IM-3150 (existing as of 3-8-19)
|
| Ref-11306 |
MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 (existing as of 10-1-18) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11306 |
MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 (existing as of 10-1-18...
|
| Ref-11364 |
Disciplinary Guidelines |
http://www.flrules.org/Gateway/reference.asp?No=Ref-11364 |
Disciplinary Guidelines
|
| Ref-12527 |
17 CFR 230.251-230.263 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12527 |
|
| Ref-12528 |
17 CFR 230.701 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12528 |
|
| Ref-12529 |
17 CFR 15c2-1, 15c2-4, 15c2-5, 15c2-7, 15c2-8, 15c2-11, 15c2-12 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12529 |
|
| Ref-12530 |
17 CFR 15c3-1 and appendices |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12530 |
|
| Ref-12531 |
17 CFR 17a-3 and 17a-4 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12531 |
|
| Ref-12532 |
17 CFR 17a-11 and 17a-14 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12532 |
|
| Ref-12533 |
17 CFR 242.100-242.105 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12533 |
|
| Ref-12534 |
17 CFR 242.200-242.203 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12534 |
|
| Ref-12535 |
SEC Rules 204-1, 204-2, 204-3, 205-1, 205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1, 206(4)-3 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12535 |
|
| Ref-12537 |
FINRA Rules 1020 and 1240 as of 6.26.20 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12537 |
|
| Ref-12540 |
FINRA Rule 2000 Series as of 6.24.20 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12540 |
|
| Ref-12541 |
FINRA Rule 3000 Series as of 6.24.20 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12541 |
|
| Ref-12542 |
FINRA Rule 4000 Series as of 6.24.20 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12542 |
|
| Ref-12543 |
FINRA Rule 5000 Series as of 6.24.20 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12543 |
|
| Ref-12544 |
FINRA Rule 6000 Series as of 6.25.20 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12544 |
|
| Ref-12545 |
FINRA Rule 7000 Series as of 6.25.20 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12545 |
|
| Ref-12546 |
FINRA Rule 11000 Series as of 6.26.20 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12546 |
|
| Ref-12547 |
MSRB Rule Book 10.1.19 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12547 |
|
| Ref-12548 |
FORM ADV 09-19 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12548 |
|
| Ref-12549 |
Form U4 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12549 |
|
| Ref-12550 |
Form U5 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12550 |
|
| Ref-12552 |
Form U4 Instructions-Explanation of Terms-Form.pdf |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12552 |
|
| Ref-12553 |
Form U4 Instructions-Explanation of Terms-Form.pdf |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12553 |
|
| Ref-12554 |
Form U4 Instructions-Explanation of Terms-Form.pdf |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12554 |
|
| Ref-12555 |
Form U4 Instructions-Explanation of Terms-Form.pdf |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12555 |
|
| Ref-12556 |
Form U4 Instructions-Explanation of Terms-Form.pdf |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12556 |
|
| Ref-12557 |
Form U4 Instructions-Explanation of Terms-Form.pdf |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12557 |
|
| Ref-12560 |
Form U5 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12560 |
|
| Ref-12561 |
Form U5 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12561 |
|
| Ref-12562 |
Form U5 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12562 |
|
| Ref-12563 |
Form U5 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12563 |
|
| Ref-12564 |
Form U5 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12564 |
|
| Ref-12565 |
Form U5 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12565 |
|
| Ref-12567 |
FORM ADV 09-19 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12567 |
|
| Ref-12568 |
FORM ADV 09-19 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12568 |
|
| Ref-12572 |
Form U4 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12572 |
|
| Ref-12573 |
Form U4 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12573 |
|
| Ref-12574 |
Form U5 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12574 |
|
| Ref-12575 |
Form U5 Instructions-Explanation of Terms-Form |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12575 |
|
| Ref-12577 |
OFR Form DLY |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12577 |
|
| Ref-12591 |
Disciplinary Guidelines Final 12.18.20 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-12591 |
|
| Ref-15081 |
SEC Form X-17A-5 11.18 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15081 |
SEC Form X-17A-5 11.18
|
| Ref-15083 |
3 -15 USC 778a through 78qq 4.12.22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15083 |
3 -15 USC 778a through 78qq 4.12.21
|
| Ref-15084 |
13 - 17 C.F.R. part 210 4.1.21 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15084 |
13 - 17 C.F.R. part 210 4.1.21
|
| Ref-15085 |
14 - 17 C.F.R. 230.134 et al. 4.1.21 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15085 |
|
| Ref-15086 |
15 - 17 C.F.R. 230.144A 4.1.21 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15086 |
15 - 17 C.F.R. 230.144A 4.1.21
|
| Ref-15087 |
16 - 17 C.F.R. Regulation A 4.1.21 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15087 |
16 - 17 C.F.R. Regulation A 4.1.21
|
| Ref-15088 |
17 - 17 C.F.R. 230.415 12.9.21 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15088 |
17 - 17 C.F.R. 230.415 12.9.21
|
| Ref-15089 |
18 - 17 C.F.R. 230.501 4.1.21 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15089 |
18 - 17 C.F.R. 230.501 4.1.21
|
| Ref-15090 |
26- 17 C.F.R. 240.15c2-1 through c2-12 4.1.21 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15090 |
26- 17 C.F.R. 240.15c2-1 through c2-12 4.1.21
|
| Ref-15091 |
28- 17 C.F.R. 240.15c3-3 Exhibit A 4.1.21 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15091 |
28- 17 C.F.R. 240.15c3-3 Exhibit A 4.1.21
|
| Ref-15092 |
29 - 17 C.F.R. 240.15g-1 through 240.15g-9 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15092 |
29 - 17 C.F.R. 240.15g-1 through 240.15g-9
|
| Ref-15093 |
34 - 17 C.F.R. Regulation M 4.9.21 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15093 |
34 - 17 C.F.R. Regulation M 4.9.21
|
| Ref-15094 |
35 - 17 C.F.R. Regulation SHO 4.9.21 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15094 |
35 - 17 C.F.R. Regulation SHO 4.9.21
|
| Ref-15095 |
38 - 17 C.F.R. 204-1 et. al. 4.15.22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15095 |
38 - 17 C.F.R. 204-1 et. al. 4.15.22
|
| Ref-15096 |
40 - FINRA Rules 1020 and 1240 5.9.22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15096 |
40 - FINRA Rules 1020 and 1240 5.9.22
|
| Ref-15097 |
41 - FINRA Rule 2000 Series 5.9.22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15097 |
41 - FINRA Rule 2000 Series 5.9.22
|
| Ref-15098 |
42 - FINRA Rule 3000 Series 5.9.22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15098 |
42 - FINRA Rule 3000 Series 5.9.22
|
| Ref-15099 |
43 - FINRA Rule 4000 Series 5.9.22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15099 |
43 - FINRA Rule 4000 Series 5.9.22
|
| Ref-15100 |
44 - FINRA Rule 5000 Series 5.10.22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15100 |
44 - FINRA Rule 5000 Series 5.10.22
|
| Ref-15101 |
45 - FINRA Rule 6000 Series 5.10.22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15101 |
45 - FINRA Rule 6000 Series 5.10.22
|
| Ref-15102 |
46 - FINRA Rule 7000 Series 5.11.22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15102 |
46 - FINRA Rule 7000 Series 5.11.22
|
| Ref-15103 |
47 - FINRA Rule 11000 Series 5.11.22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15103 |
47 - FINRA Rule 11000 Series 5.11.22
|
| Ref-15105 |
48 - MSRB Rules 10.1.21 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-15105 |
48 - MSRB Rules 10.1.21
|
| Ref-16475 |
Investment Company Act of 1940 (15 U.S.C. ss. 80a-1 through 80a-64) 07-06-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16475 |
Investment Company Act of 1940 (15 U.S.C. ss. 80a-1 through 80a-64) 07-06-23
|
| Ref-16476 |
Securities Exchange Act of 1934 (15 U.S.C. ss. 78a through 78qq) 07-06-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16476 |
Securities Exchange Act of 1934 (15 U.S.C. ss. 78a through 78qq) 07-06-23
|
| Ref-16478 |
The Investment Advisers Act of 1940 (15 U.S.C. ss. 80b-1 through 80b-21) 07-06-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16478 |
The Investment Advisers Act of 1940 (15 U.S.C. ss. 80b-1 through 80b-21) 07-06-23
|
| Ref-16479 |
SEC Rule 415 (17 C.F.R. 230.415) 4-1-22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16479 |
SEC Rule 415 (17 C.F.R. 230.415) 4-1-22
|
| Ref-16481 |
SEC Rules 134, 134a, 135a, 144, 156, 419, 481 and 482 4-1-22 as amended |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16481 |
SEC Rules 134, 134a, 135a, 144, 156, 419, 481 and 482 4-1-22 as amended
|
| Ref-16482 |
Regulation Best Interest (17 CFR 240.15l-1) 4-1-22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16482 |
Regulation Best Interest (17 CFR 240.15l-1) 4-1-22
|
| Ref-16483 |
SEC Rules 17a-3 and 17a-4 (17 C.F.R. ss. 240.17a-3 and 240.17a-4) as amended |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16483 |
SEC Rules 17a-3 and 17a-4 (17 C.F.R. ss. 240.17a-3 and 240.17a-4) as amended
|
| Ref-16484 |
Regulation M (17 C.F.R. ss. 242.100 through 242.105) as amended |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16484 |
Regulation M (17 C.F.R. ss. 242.100 through 242.105) as amended
|
| Ref-16485 |
Regulation SHO (17 C.F.R. ss.242.200-242.203) 4-1-22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16485 |
Regulation SHO (17 C.F.R. ss.242.200-242.203) 4-1-22
|
| Ref-16486 |
FINRA Rules 1020 and 1240 07-05-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16486 |
FINRA Rules 1020 and 1240 07-05-23
|
| Ref-16489 |
FINRA Rule 2000 Series (2010 through 2370) 07-05-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16489 |
FINRA Rule 2000 Series (2010 through 2370) 07-05-23
|
| Ref-16490 |
FINRA Rule 3000 Series (3110 through 3310) 07-05-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16490 |
FINRA Rule 3000 Series (3110 through 3310) 07-05-23_Part1
|
| Ref-16491 |
FINRA Rule 4000 Series (4110 through 4590) 07-05-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16491 |
FINRA Rule 4000 Series (4110 through 4590) 07-05-23
|
| Ref-16493 |
FINRA Rule 5000 Series (5110 through 5350) 07-05-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16493 |
FINRA Rule 5000 Series (5110 through 5350) 07-05-23
|
| Ref-16494 |
FINRA Rule 6000 Series (6110 through 6898) 07-05-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16494 |
FINRA Rule 6000 Series (6110 through 6898) 07-05-23
|
| Ref-16495 |
FINRA Rule 7000 Series (7110 through 7730) 07-05-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16495 |
FINRA Rule 7000 Series (7110 through 7730) 07-05-23
|
| Ref-16496 |
FINRA Rule 11000 Series (11100 through 11900) 07-05-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16496 |
FINRA Rule 11000 Series (11100 through 11900) 07-05-23
|
| Ref-16497 |
MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 10-1-22 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16497 |
MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 10-1-22
|
| Ref-16498 |
Sections 2 3 4 5 6 7 8 and 10(a) of the Securities Act of 1933 (15 U.S.C. ss. 77b 77c 77d 77e 77f 77g 77h and 77j) 07-06-23 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16498 |
Sections 2 3 4 5 6 7 8 and 10(a) of the Securities Act of 1933 (15 U.S.C. ss. 77b 77c 77...
|
| Ref-16499 |
Form BD, Uniform Application for Broker-Dealer Registration (5-23) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16499 |
Form BD, Uniform Application for Broker-Dealer Registration (5-23)
|
| Ref-16500 |
FORM ADV, Uniform Application for Investment Adviser Registration (8-22) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16500 |
FORM ADV, Uniform Application for Investment Adviser Registration (8-22)
|
| Ref-16501 |
Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser Pursuant to Rule 206(4)-2 [17 CFR 275.206(4)-2], Form ADV-E (01-13) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16501 |
Certificate of Accounting of Client Securities and Funds in the Possession or Custody of a...
|
| Ref-16502 |
Florida Guide to Small Business Investments, OFR-S-13-97 effective 3/24 |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16502 |
Florida Guide to Small Business Investments, OFR-S-13-97 effective 3/24
|
| Ref-16503 |
Form BD, Uniform Application for Broker-Dealer Registration (5-23) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16503 |
Form BD, Uniform Application for Broker-Dealer Registration (5-23)
|
| Ref-16504 |
FORM ADV, Uniform Application for Investment Adviser Registration (8-22) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16504 |
FORM ADV, Uniform Application for Investment Adviser Registration (8-22)
|
| Ref-16505 |
FORM ADV, Uniform Application for Investment Adviser Registration (8-22) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16505 |
FORM ADV, Uniform Application for Investment Adviser Registration (8-22)
|
| Ref-16506 |
Form OFR-S-1-91, Application for Registration of Securities (03-2024) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16506 |
Form OFR-S-1-91, Application for Registration of Securities (03-2024)
|
| Ref-16507 |
Form OFR-S-12-97, SCOR (Small Corporate Offering Registration) Application to Register Securities (03-2024) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16507 |
Form OFR-S-12-97, SCOR (Small Corporate Offering Registration) Application to Register Sec...
|
| Ref-16508 |
OFR-S-7-91, Exhibit 1 (General Issue) (03-2024) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16508 |
OFR-S-7-91, Exhibit 1 (General Issue) (03-2024)
|
| Ref-16509 |
Form U-7, Small Corporate Offering Registration, (Rev. 5-19-2019) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16509 |
Form U-7, Small Corporate Offering Registration, (Rev. 5-19-2019)
|
| Ref-16511 |
Form U-1, Uniform Application to Register Securities (04/17/23) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16511 |
Form U-1, Uniform Application to Register Securities (04/17/23)
|
| Ref-16512 |
Form U-1, Uniform Application to Register Securities (04/17/23) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16512 |
Form U-1, Uniform Application to Register Securities (04/17/23)
|
| Ref-16513 |
Office of Financial Regulation Disciplinary Guidelines for Chapter 517, Florida Statutes (F.S.) and Division 69W, Florida Administrative Code (F.A.C.) (effective 03-24) |
http://www.flrules.org/Gateway/reference.asp?No=Ref-16513 |
Office of Financial Regulation Disciplinary Guidelines for Chapter 517, Florida Statutes (...
|